Joseph E. Bonin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Elliot Bonin, who also goes by Joseph Elliott Bonin, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1981. Joseph had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 55, Series 7, Series 5, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2016 - January 13, 2021
PRUCO SECURITIES, LLC.
February 23, 2016 - January 13, 2021
PRUCO SECURITIES, LLC.
February 1, 2013 - August 4, 2014
WEDBUSH SECURITIES INC.
August 9, 2007 - February 15, 2012
NAVIGATE ADVISORS
June 24, 1999 - July 27, 2007
UBS SECURITIES LLC
July 27, 1988 - August 8, 1988
QUICK & REILLY, INC.
June 30, 1986 - December 21, 1987
KENNEDY, CABOT & CO.
October 28, 1985 - January 29, 1986
ROONEY, PACE INC.
July 1, 1985 - November 1, 1985
KUHNS BROTHERS & LAIDLAW, INC.
June 22, 1984 - January 11, 1985
E. F. HUTTON & COMPANY INC
October 17, 1983 - July 11, 1984
BECKER PARIBAS INCORPORATED
September 28, 1982 - November 10, 1983
MORGAN STANLEY DW INC.
December 24, 1981 - August 30, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 12/15/2022
General Securities Representative ExaminationSeries 55
Date: 3/29/2000
Limited Representative-Equity Trader ExamSeries 5
Date: 1/26/1982
Interest Rate Options ExaminationCurrent Firm
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
